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One of the things that came out and was firmly embodied into law with the advent of the SEC.
随着证交会的成立,一些相关的金融规范,被写入了法律条文
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And I'm going to run it in a sec, but you can see, the same kind of idea.
我马上要去运行它，但是你们会明白，思想是一样的。
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They were making risky investments but they weren't reporting them properly on the SEC forms, so people didn't know how risky Enron was.
从事风险投资,安然并未按照证交会规定适当披露这些消息,所以大众不知安然面临多大风险
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I'm still trying to work out a role for you so hang on for one sec.
我还在想给你配个什么角色,先等一会儿吧。
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One sec.
等一下。
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There were precursors to this, but the SEC forces the difference between public and private securities and this is a very important distinction.
例如证交会强制界定了,公共券商与私募券商之间的差异,这是非常重要的划分
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It's not their choice--they might like to advertise -but they can't without running afoul of the SEC.
他们也不想这样...他们也想登广告,但是不可以登,否则会与证交会起冲突
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This is another example of off balance sheet accounting that was frustrating the rules of the SEC.
这也是重创证交会,所制定的规范的一个例子
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It was organized by the SEC in 1973, but the SEC didn't want to do this job; they wanted it to be done privately.
而是由证交会创建于1973年,证交会不想接手该职责,希望由民间组织来监管
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You could not sell a security without giving a prospectus to the potential buyers and the prospectus would be something approved by the SEC.
没有招股说明书就不可以,出售证券给潜在买家,而且招股书需要通过证交会审核
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The idea, from the beginning at the SEC, was that insiders should not be allowed to trade on information that is not properly disclosed to the public.
证交会从成立开始就规定,局内人不得利用未公开披露的信息,进行内幕交易
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The SEC--you have to decide-- you hear about public companies and private companies.
证交会...你必须选择...,你应该听说过上市公司和私营公司
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There has been, over the years a lot of turf battles between the SEC and the CFTC because it's sometimes unclear whether something is a security or a futures.
历年来,证券交易委员会和期货交易委员会的领域战争层出不穷,因为有时候很难说,一个东西究竟是证券还是期货。
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There was a hostile attitude between business and the original SEC.
早期的证券交易委员会与商界,势不两立
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Public securities are securities that the SEC will accept as suitable for the general public and private securities are securities that have not been vetted by the SEC for the general public.
公共券商是指那些经证交会审核通过,适于面向大众经营证券买卖的证券公司,而私募券商是指那些未经,证交会审查,面向大众的证券公司
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Basically, what it did was it made it feel that people wouldn't get cheated; the SEC was a strong regulator and it really did restore confidence in the financial markets in this country.
证券交易委员会的辛勤付出,使人们感到不会受骗,证券交易委员会是一个强大的监管机构,它也重塑了,这个国家对金融市场的信心
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Last year, the SEC put out a proposal that -it's getting too easy to be an accredited investor -so they put out a proposal that we raise the wealth level to $2.5 million.
去年证交会发布了一项提议,鉴于合格投资者的门槛较低,因此他们提议,把准入门槛提高到250万美元
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If you are a public company, the important thing is you have to do all of the disclosure that Louis Brandeis would have liked; you have to file regular forms with the SEC, disclosing information.
作为一家上市公司,你必须公布所有必要信息,就像是路易斯·布兰代斯曾希望的那样,你必须定期向证交会上交文件,披露公司的信息
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If you're a public company it means that you've gone through the procedures at the SEC to be approved as a public company.
一家上市公司,是通过证交会的审查程序,而被批准为上市公司的
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If you are--this is a private investment company -let's think before we talk about hedge--think of -suppose you're a public investment company approved by the SEC.
如果你是...这是一种私募投资公司,...在我们讨论对冲基金之前大家想一想,...假设你有一家经证交会认证的公共券商
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I don't know if the word is approved but it's--you have to run it by the SEC and then you always have to give that up.
不知道人们对此是否认同,但是你不得不按证交会的规则去办事,不断地提交这类文件
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So, he was going after himself, finding out all the companies that were backdating options, trying to beat the SEC and the regulatory authorities to the conclusion.
所以他自己一路研究下去,找出了所有用倒签期权欺诈的公司,然后试图用这个结论,与证券交易委员会和监管机构抗衡
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But the law--the SEC requires that they at least present the standard earnings definitions for all these things Now another--let me just mention off balance sheet accounting.
不过,证交会规定他们至少要披露,各项收益标准定义,另一个内容,表外业务会计核算
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The SEC and other regulators have to watch for this.
但证交会和其它监管机构监督此举
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The SEC was very controversial at first because it was seen as interfering with business and the U.S. Has been built on principles of individual freedom; this seemed like unnecessary government intrusion.
起初,证券交易委员会引起了许多争议,因为人们认为它会干扰商业运作,个人自由是美国的立国之本,政府的干预似乎并非必要
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In 2006--I mentioned this before -in 2006, the SEC proposed raising the definition to make it harder to be an accredited investor, but they haven't done that yet; so, it remains at one million dollars to do it.
我之前讲过,2006年美国证券交易委员会曾提议,抬高可信投资者的门槛,但他们仍未付诸实施,所以现在的门槛仍为一百万美元
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It's for small investors because currently the limit on the SEC is $100,000; that's not a lot of money.
对于小额投资者,SEC规定的最低担保额为10万美元,实在不算多
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Well, if you want to find out you can get onto sec.gov and it will give you the current definition.
想了解的话就到SEC.gov去查查吧,你会找到最新的定义
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But in fact, the SEC promoted the very free-market concepts that were widely believed in this country.
但事实上,SEC发扬了自由市场这一概念,而这一概念受到了广泛认同
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The one thing that the SEC requires that companies file is their balance sheet, which you can look up for any company on EDGAR.
证交会规定公司要披露的,公司文件之一就是资产负债表,在EDGAR上可查到任一公司的资产负债表
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